Review of the Security and Emergency Planning Staff's Management of Background Investigations

Evaluation and Inspections Report I-2005-010
September 2005
Office of the Inspector General

On August 11, 2005, the Office of the Inspector General (OIG) sent copies of the draft report to the Assistant Attorney General for Administration with a request for written comments. The Assistant Attorney General for Administration provided the Justice Management Division’s (JMD) final written comments to us in a memorandum dated September 9, 2005 (Appendix III). JMD concurred with all six of our recommendations. However, we will require additional details regarding JMD’s proposed plans to assess their effectiveness in meeting the intent of the recommendations. Our analysis of JMD’s response to each recommendation follows. RECOMMENDATIONS Recommendation 1: Develop a Department-wide plan for implementing the personnel security requirements of the Intelligence Reform and Terrorism Prevention Act of 2004 (Intelligence Reform Act) and Homeland Security Presidential Directive 12 (HSPD-12), and identify the resources that will be needed to enable the Department to meet the new requirements. Status: Resolved – Open Summary of JMD’s Response: JMD stated that the Department has an HSPD-12 plan that includes personnel security requirements imposed by that Directive. The Department’s final implementation plan was submitted to the Office of Management and Budget on August 27, 2005. With respect to the Intelligence Reform Act, JMD stated that the Security and Emergency Planning Staff (SEPS) will develop a plan by September 30, 2005, to implement the personnel security requirements of that statute for adjudicating background investigations. OIG’s Analysis: To enable the OIG to assess these plans, please provide the OIG with copies of both implementation plans by October 3, 2005. Recommendation 2: Develop a Department-wide database with imaging capability to enable uniform processing and tracking of employee and contractor personnel security actions, permit central oversight of personnel security operations, and reduce the vulnerability caused by reliance on paper records. Status: Resolved – Open Summary of JMD’s Response: JMD stated that a Department-wide database to track both employee and contractor personnel security actions is part of the HSPD-12 plan and budget. The database will not include imaging capability, but JMD stated that copies of all of SEPS’s background investigations are maintained separately by the investigating agencies. JMD also stated that under the Office of Personnel Management’s (OPM) e-Gov initiative, all investigating agencies will eventually move to electronic records of background investigations and a paperless environment for their customers. OIG’s Analysis: By January 13, 2006, please provide the OIG with a copy of the plan for a Department-wide database for tracking employee and contractor personnel security actions that meets OPM’s requirement for a paperless process and that addresses the interoperability, oversight, and continuity of operations requirements identified in our review. As the response indicates that the imaging capability may be distributed among investigative agencies, the plan should include JMD’s proposal to ensure that JMD and the components with delegated investigative authority develop and implement compatible systems that meet OPM requirements. The plan should confirm that the systems will also provide electronic storage capability for documents generated by components with adjudicative responsibility. The plan should include details on how these systems will interact to enable SEPS to conduct centralized oversight of the timeliness and quality of investigations and adjudications. Recommendation 3: Once OPM provides the necessary policy decisions, expeditiously issue an updated Department personnel security policy, DOJ Order 2610.2A. Status: Resolved – Open Summary of JMD’s Response: JMD stated that by November 21, 2005, it will circulate a revised DOJ Order 2610.2A for comment by components. OIG’s Analysis: The action described by JMD is responsive to our recommendation. By January 13, 2006, please provide the revised DOJ Order 2610.2A. If the revision has not been completed, please provide a timeline for incorporating comments and issuing the updated Order. Recommendation 4: Develop a plan for conducting routine oversight of components with delegated authority that provides reasonable coverage and ensures that the background investigations and adjudications meet established standards for both quality and timeliness. Status: Resolved – Open Summary of JMD’s Response: JMD agreed that SEPS should include in its compliance reviews oversight of the quality and timeliness of those investigations. JMD also stated that, as our report notes, SEPS provides oversight of the components it has delegated adjudicative authority to through its Compliance Review Section’s security compliance reviews. JMD is seeking three additional positions in the FY 2007 budget for the Compliance Review Section to enhance its ability to conduct effective oversight. In the meantime, JMD stated that SEPS will develop a plan by September 30, 2005, to ensure that personnel security issues receive more attention during security compliance reviews. OIG’s Analysis: Please provide the OIG with a copy of the plan for improving personnel security oversight by October 3, 2005. The plan should identify all additional elements that SEPS will introduce to ensure reasonable oversight of the quality and timeliness of the Department’s background investigations. Additional staffing, if received, would increase SEPS’s ability to conduct oversight. But even assuming the proposed doubling of SEPS’s Compliance Review Section employees occurs, a six-member staff will be able to review only a limited portion of the Department’s offices each year because these SEPS employees must address other security requirements as well. Therefore, the plan should identify any additional methods by which JMD can ensure personnel security issues receive sufficient attention. Recommendation 5: Institute an annual report to the Deputy Attorney General to describe the performance of the Department and each component in adjudicating background investigations and in complying with Department personnel security regulations and policies. Status: Resolved – Open Summary of JMD’s Response: JMD stated that following implementation of the enhanced oversight plan, the Assistant Attorney General for Administration will report annually to the Deputy Attorney General on the performance of each component with delegated authority in complying with the Department’s adjudication regulations and policies. OIG’s Analysis: The action described by JMD is responsive to our recommendation. By January 13, 2006, please provide written procedures describing how SEPS will report to the Deputy Attorney General on components’ compliance with all federal and Department regulations and policy for which it has oversight responsibility, including compliance with HSPD-12 and the Intelligence Reform Act requirements. Recommendation 6: Establish procedures to identify the policies, documents, and other information necessary for personnel security operations, and in coordination with the Department’s Office of the Chief Information Officer, make the documents available through the SEPS web site. Status: Resolved – Open Summary of JMD’s Response: JMD stated that SEPS is implementing this recommendation. OIG’s Analysis: The action described by JMD is responsive to our recommendation. By January 13, 2006, please provide: (1) the date by which existing materials will be posted to the web site if such posting is not already complete and (2) written procedures for SEPS’s coordination with the e-Gov staff within the Office of the Chief Information Officer to ensure that new materials are posted to the web site in a timely manner.